I wish to FOI copies of all bank CEO briefings held by ASIC chair Joe Longo or other senior members of the commission for the period of 1 July 2023 to 1 August 2024.

For the purposes of this FOI this should be taken to reflect documents prepared internally by ASIC for its chair Joe Longo, commissioners, and the ASIC steering committee, regarding the following banks and their CEOS:

CBA
ANZ
NAB
Westpac
Macquarie

13 documents released in part

• Correspondence between ASIC's markets supervision team and the AOFM for the period of May 18 2024 to July 26 2024.
• Correspondence between ASIC's markets enforcement team and the AFOM for the period of May 18 2024 to July 26 2024.

44 documents released in part

1. Documents containing information about the number, classification levels, type of employment (e.g. full time, part time, fractional, casual) functions and position descriptions of Indigenous Liaison Officers or equivalent (e.g. First Nations Liaison Officer or Aboriginal and Torres Strait Islander Officer), if any, in your agency from 1 January 2014 until the present.
2. Documents containing information about the number of staff currently employed in your agency who identify as Aboriginal or Torres Strait Islander.

4 documents released in full and 1 document released in part

4 documents released in part

5 documents released in full and 23 documents released in part

1. Documents indicating the following information about each civil and criminal penalty case commenced in a court by ASIC (or the ASC), including, to avoid any confusion, cases prosecuted by the Commonwealth Director of Public Prosecutions which were commenced by ASIC investigation:

1. 1. The name of the case;
   2. The name of all persons against whom action was brought (or, if this is not possible, whether they were natural persons or body corporates);
   3. The case outcome (including whether it was contested/plead guilty to; the penalty; litigation ongoing/judgment on reserve; abandoned; settled);
   4. The provision which ASIC (or the CDPP) alleged was contravened;
   5. The nature of any resulting civil penalty or criminal sentence;
   6. The name of the court in which the case was commenced.

2 documents released in full and 6 documents released in part.

Note: these documents have been generated in accordance with s 17(1) of the FOI Act. ASIC is unable to guarantee that the documents are a complete and accurate reflection of the information requested.

I am writing to request, under the Freedom of Information Act 1982 (Cth), the following records of ASIC officials Dayle Buckley, Kelly Rodgers, Rhys Bollen and Lisa Saunders for the period 13 January 2020 to 31 January 2020 relating to Mayfair 101, IPO Wealth Pty Ltd, Mayfair Wealth Partners Pty Ltd, Quattro Capital Group Pty Ltd, IPO Wealth Fund, Vasco Trustees Ltd, D H Flinders Pty Ltd and Mr Craig Dunstan:

1. all internal records including emails, phone messages including WhatsApp messages, file attachments, internal notes, memos and documents sent, received, written or otherwise between:
   i. the above mentioned officers; and
   ii. the above mentioned officers and the following ASIC officials:
   1. Karen Chester;
   2. Joanna Bird;
   3. Hugh Copley; and
   4. Sharon Concisom.
2. all internal records of any meeting(s) between ASIC officers and Mr Craig Dunstan of Vasco Trustees Limited on or around 29 January 2020 including but not limited to a list of attendees, files notes, agenda items, meeting invitation(s) and action items arising from the meeting(s).

11 documents released in full and 23 documents released in part

1. Notices issued to and correspondence with Hopkins, his related entities (including trusts), and his or their solicitors relevant to the interim orders ASIC obtained on 31 May 2022, 3 June 2022 and 7 June 2022 in the proceeding to freeze the assets of Hopkins and his related entities;
2. All documentation (including affidavits with their exhibits) served on Hopkins by ASIC in relation to the proceeding during the period 1 February 2022 to 31 August 2022 (inclusive);
3. All documentation (including affidavits with their exhibits) served on ASIC by Hopkins in relation to the proceeding during the period 1 February 2022 to 31 August 2022 (inclusive);
4. All documentation including statements, letters and emails exchanged between Hopkins and ASIC in relation to the orders ultimately made on 31 May 2022, 3 June 2022 and 7 June 2022 or proposed orders including (but not limited to) any negotiations, proposals, counter proposals or notice regarding the orders made on 31 May 2022, 3 June 2022 and 7 June 2022;
5. All documentation (including correspondence with Hopkins, his related entities and his or their solicitors) relating to Happiness Lives Here Pty Ltd (ACN 655 814 734), a company associated with Hopkins;
6. All documentation (including correspondence with Hopkins, his related entities and his or their solicitors) relating to any funds available to Hopkins and/or his related entities from Happiness Lives Here Pty Ltd’s sale of 5 Burgess Street, Beaumaris, VIC 3193 on 23 June 2022;
7. Any correspondence, transcripts or file notes relating to Hopkins’ potential purchase of a property located at 16 Fifth Street, Black Rock, VIC 3193 which was due for settlement on 18 July 2022 (later amended to 20 July 2022);
8. Any correspondence, transcripts or file notes relating to Hopkins’ potential purchase of a property located 16 Fifth Street, Black Rock, VIC 3193 using funds available to Hopkins through Happiness Lives Here Pty Ltd (ACN 655 814 734); and
9. All documents relating to property developments Hopkins and his related entities (including trusts) were involved in which were relevant to ASIC’s investigation and the proceeding.

1 document released in part

Please provide:

• Final Flight itinerary(s) (including associated costs of flights)
• Final Accommodation arrangements (including associated cost of that accommodation)
• Final Registration details for any conferences / formal meetings attended (including any associated costs of that registration)

For the one (1) international trip to Athens and the United Kingdom (multi-leg trip) by the Chair of the Australian Securities and Investments Commission for the period 01 March to 31 May 2024?

5 documents released in full, and 5 documents released in part

Please provide:

• Final Flight itinerary(s) (including associated costs of flights)
• Final Accommodation arrangements (including associated cost of that accommodation)
• Final Registration details for any conferences / formal meetings attended  (including any associated costs of that registration)

For the one (1) international trip to Japan by the Deputy Chair of the Australian Securities and Investments Commission for the period 01 March to 31 May 2024?

3 documents released in full, and 1 document released in part

7 documents released in part

1 document released in part

All documents held by ASIC that comment or reflect on submissions made to the Senate Standing Committees on Finance and Public Administration's Inquiry into management and assurance of integrity by consulting services. 

1 document released in full

7 documents released in part

1 document released in part

1 document released in full

1. A copy of any emails, correspondence, telephone call notes between ASIC Chairman, Joe Longo, and HWL Ebsworth
2. A copy of any emails, correspondence, telephone call notes between Mr Joe Longo and the WA government and WA Dept of Consumer Protection (DMIRS)

1 document released in part

1. A copy of the CDDA authorisation by the Minister that was in place until it purportedly lapsed in 2015
2. A copy of any correspondence, subsequent to the lapsing, from ASIC to the relevant Minister (incl their office) where ASIC agitates to be re-authorised for CDDA
3. A copy of any correspondence that is a reply to the correspondence in [2]

1 document released in full

Emails sent by ASIC between 1 and 5 July 2024, where:

• the author is an ASIC Executive Director (or equivalent), including acting Executive Director
• the email relates in any way to the SERC report on ASIC investigation and enforcement (whether before or after the report’s formal tabling), and
•  the email was not sent outside the Commonwealth.

16/08/2024 - 5 documents released in part and 6 documents released in full

09/09/2024 - 3 additional documents released in part, following an internal review 

FOI 141-2024 (PDF, 7MB)

FOI 141-2024 (Additional Documents) (ZIP, 1MB)

ASIC emails to members of the markets team from October 11 through to October 20 concerning Magnis Energy

16 documents released in part

I seek copies of documents related to the appointment of the current CEO as CEO and to his previous role as COO.

For each of the above appointments, I seek copies of:

1. Advertisements, external or internal, of the position
2. The selection criteria
3. Documents outlining how the selection process was to be organised
4. Documents showing the composition of the interview panel
5. The decision by ASIC's commissioners to make the appointment
6. Minutes of ASIC commission meetings where the appointment was discussed and approved
7. Copies of any delegations relating to the power to make the appointment

29 documents released in part

Policies and Guidelines: Current documents that outline the policies, guidelines, or directives that allow transgender women to use women's toilets and other gender-specific facilities in departmental offices.

1 document released in part

Details of the debenture holder/trustee of Latitude Financial Services (Pty Ltd)/Latitude Group Holdings Limited.

1 document released in full

Correspondence between ASIC's markets team and the AOFM for the period of January 1 2023 to May 17 2024, in reference to ANZ Bank.

3 documents released in part

A description of all Artificial Intelligence (AI) tools (e.g. applications) and/or capabilities (e.g. Large Language Models, Neural Networks) currently being used (whether by ownership or licence), trialled or considered for future use by ASIC to assist/enhance employee productivity (or has replace employees) or to assist in or perform Agency functions.
The AI generated summaries of a parliamentary inquiry and the final report of the AI proof of concept trial (mentioned in ASIC’s submission to the Senate’s inquiry into the uptake of AI technologies in Australia.

10 documents released in full

Number of whistleblower reports received each month from Jan 2018 – June 2024.

1 document released in full

All correspondence between ASIC and Nuix concerning the investigation into Nuix CEO Jonathan Rubinsztein and allegations of insider trading.

22 documents released in part

We are seeking information pertaining to the reinstatement of Boral Bricks Western Australia Pty Ltd ACN 008 674 244.

Specifically, we request a copy of the Form 581 Application for reinstatement of company filed with ASIC, including any associated documents, correspondence, and communications related to this reinstatement.

5 documents released in part

All correspondence between Magnis Energy Technologies and ASIC for the period of January 1 2024 through to April 1 2024.

1 document released in part

Eight examples of ASIC stating that it was no longer authorised to determine CDDA claims.

7 documents released in part

I have spoken to a number of Australians who have lost millions to financial advisers who have acted inappropriately with their funds.
This includes financial advisers who have been full-time employed by a financial advice firm, and financial advisers who act independently.

I would like to know how many financial advisers ASIC has investigated in the past year, how many of those resulted in a ban, and exactly how many current investigations into the professional behaviour of financial advisers remain open right now?

Also, how long does an investigation tend to take, and what does the process of an investigation entail? Do you speak to victims who have lost money in the process of an investigation?

1 document released in part

I wish to FOI all briefings to ASIC chair Joe Longo concerning moves by Commonwealth Bank of Australia to dump bonus caps.

The time period for this FOI should cover the period of January 2023 through to April 2024.

4 documents released in part

I request a copy of any submissions by the Australian Securities and Investments Commission to Treasury’s Quality of Advice Review and its multiple subsequent consultations, and/or its submission to the Senate Economics Legislation Committee ― Treasury Laws Amendment (Delivering Better Financial Outcomes & Other Measures) Bill 2024 inquiry.

Separately and in addition, I request any written briefs or advice provided by the Australian Securities and Investments Commission to Treasury, Assistant Treasurer and Minister for Financial Services Stephen Jones or his staff relating to the topic of trustee oversight of advice fee deductions from members’ superannuation accounts.

5 documents released in part

I am requesting information on the outstanding property which includes real estate and all other assets vested in ASIC, tangible or otherwise.

1 document released in part

This letter is a request for the purposes of the Freedom of Information Act 1982 seeking access to emails, correspondence and/or briefs sent or delivered to The Office of the Hon Stephen Jones MP, Assistant Treasurer and Minister for Financial Services from the Australian Securities and Investment Commission (ASIC), over the period 1 June 2022 to 30 Mar 2024 relating to:

• Managed Investment Schemes, or
• Thresholds for determining if an investor is a wholesale client, or
• Roles and/or obligations of responsible entities, or
• Review of the Regulatory Framework for Managed Investment Schemes.

I do NOT seek access to duplicates of any document captured within the scope of the request; nor the mobile numbers or full email addresses of government officials, nor the names and contact details of government officials not in the Senior Executive Service or equivalent.

I do ask that junior official’s position or titles be left unredacted, along with email domains that provide useful information as to the origin and destination of communication e.g. ‘[redacted]@asic.gov.au’.

5 documents released in part

List of 3500 websites that ASIC has stated that they have shut down in this article: 'ASIC shuts down nearly 3,500 scam websites, steps up surveillances in push to protect consumers'

1 document released in full

Usage data of the ASIC Company Register in relation to ASIC Connect and Information Brokers in FY21, FY22 and FY23.

1 document released in full

13 May 2024 and 19 July 2024

All correspondence between Magnis Energy Technologies and ASIC for the period of 2023.

13/5/2024 - 1 document released in part

19/7/2024 - 7 additional documents released in part, following an internal review

FOI 005-2024 (PDF, 259KB)

FOI 005-2024 (Additional Documents) (PDF, 2MB)

All the "offers to buy" Tibra Capital Pty Ltd has lodged with ASIC under ss 257G and 257E of the Corps Act.

All ASIC records in relation to action taken by ASIC concerning Tibra's failure to have lodged with ASIC the requisite "offers to buy" in accordance with ss 257G and 257E of the Corps Act.

4 documents released in full

I am seeking documents that outline any assessments of insurance agencies and in relation to the collapse of Greensill Group companies (that includes Greensill Capital (UK) Ltd, Greensill Capital Pty Ltd, Greensill Bank) in March 2021.

We seek documents including risk registers, or briefs, summaries or reviews to executives or commissioners overseeing the Credit, Banking and General Insurance team, or the Regulation and Supervision division and its licensing team.

The key words for any search could include: Greensill, Bond and Credit Co, BCC, Tokio Marine and IAG (or Insurance Australia), or Greg Brereton. The documents would either include references to insurance agencies or Bond and Credit Co (or BCC) or Greg Brereton.

We seek documents that capture assessments of how insurance agencies have performed in the context of the problems with the Greensill Group and insurance contracts.

The timeframe for this request is from March 2020 until March 2023.

5 documents released in part

Documents created by ASIC in the period 1 February 2015 until 30 December 2015 relating to discussions with Morgans about the imposition of any license conditions/restrictions/penalties/action by ASIC. This request excludes documents captures by previous FOI request FOI 140-2019

5 documents released in part

The following documents for the period Jan 1 2011 until 30 November 2015 relating to the findings on which licence conditions were imposed on Morgans Financial's financial services licence in 2015.

• internal summaries by ASIC of the problems/infractions mentioned in the below media release
• https://asic.gov.au/about-asic/news-centre/find-a-media-release/2015-releases/15-357mr-asic-imposes-licence-conditions-on-morgans-financial-limited/
• Correspondence from Morgans to any summaries (initially given by ASIC verbally or in writing) about the problems/infractions mentioned.

7 documents released in part

Emails either sent or received between ASIC and the National Anti-Corruption Commission (NACC); and any emails or documents internal within ASIC which discusses or makes mention of the NACC. The request is for the period 1 July 2023 to 26 February 2024, excludes public documents and covers the following ASIC officials: Joseph Longo.

4 documents released in part

I am writing to request, under the Freedom of Information Act 1982 (Cth), the following records of former ASIC Commissioner, Ms Cathie Armour, for the period 12 May 2021 to 21 May 2021 relating to Nuix Limited:
a. all internal emails with ASIC officials;
b. all emails with external parties (i.e., external to ASIC);
c. handwritten notes;
d. phone logs;
e. chat messages;
f. non-encrypted sms messages (both with ASIC officials as well as external parties); and
g. encrypted messages (whether they be WhatsApp or Signal).

11 documents released in part

Handling Sensitive and Classified Information Protocol

1 document released in part

All documents recording communications from 11 July 2014 to 6 April 2019 between any officer, employee, agent, contractor or representative of ASIC and any officer, employee, agent or representative of the Department of Treasury, regarding the scope and effect of section 596AB of the Corporations Act 2001 (Cth) as in force prior to 6 April 2019. We are particularly interested in communications that relate to the need for legislative amendment to section 596AB of the Corporations Act.

14 documents released in part

Any letters, emails or other correspondence dated or created during the period from 1 July 2017 to 21 September 2020 to or from ASIC to Phoslock Environmental Technologies Limited.

1 document released in part

81 documents released in part

3 documents released in full, and 1 document released in part

1 document released in full, and 2 documents released in part

2 documents released in full, and 3 documents released in part 

• Any emails or other communications (eg. meeting invitations/speeches/ videos/transcripts/memorandums/revised chief executive instructions or equivalent) directed at all staff about either the Royal Commission on the Robo-debt Scheme (‘the Royal Commission’), or the government response to the Royal Commission
• Any emails or other communications (eg. meeting invitations/speeches/ videos/transcripts/memorandums/revised chief executive instructions or equivalent) directed at all SES (or equivalent) staff about the Royal Commission on the Robo-debt Scheme, or the government response to the Royal Commission
• Any brief prepared for Senate estimates in October 2023 relating to how the agency was responding to the Royal Commission or the government response to the Royal Commission
• Any brief, agenda paper, submission (or similar) to the agency’s executive leadership group/senior leadership group (or however named in your agency) about how the agency was responding to the Royal Commission or implementing the government response to the Royal Commission
• Any document relating to changing training modules/induction (or similar) (whether internally or externally delivered), to incorporate information about the Royal Commission or the government response to the Royal Commission

7 documents released in part

• Jan 27 2010 Documents produced in response to ASIC notice number: S01546287 to NAB (13 documents)
• April 16 2010 Documents produced in response to ASIC notice number: S02044299 to ANZ (7 documents)
• April 16 2010 Documents produced in response to ASIC notice number: S02009723 to ANZ (9 documents)

3 documents released in part 

On 17 March 2017, a Report of Misconduct was received by ASIC from the WA Dept of Commerce. Between 20 March 2017 and 31 May 2017 various communications are noted in ASIC’s Sterling Income Trust Chronology document, page 9. I would like a copy of the Report of Misconduct sent by the WA Dept of Commerce as well as copies of each of the referenced communications.

12 documents released in full, 23 documents released in part 

Could I request, under the FOI Act, a copy of correspondence between ASIC and the Australian Securities Exchange relating to Magnis Energy Technologies (MNS) since the beginning of this calendar year?

6 documents released in part

I am requesting the PwC report commissioned by TerraCom delivered on 16 December 2019 investigating whistleblower allegations regarding fraudulent reporting of coal quality through testing firm ALS.
ASIC referenced this report in a Notice of Filing to the Federal Court of Australia made on 28 February 2023.

1 document released in part

All internal ASIC correspondence and external correspondence between ASIC and third parties relating to Mount Rommel Mining Ltd between the date range of the 20th September 2021 and 27th July 2023. I don't need any duplicates of information or current or historical company extracts, documents provided by third parties such as Financial statements and company announcements etc.

34 documents released in part

Correspondence between ASIC deputy chair Sarah Court and lawyers for former PwC head of international tax Peter John Collins or Mr Collins himself.

3 documents released in full, with a staff signature redacted under s 11C(1)(a) 

The summary document prepared by ASIC of SERC Submissions circulated to ASIC personnel in an internal June/July update (2023).

1 document released in full

I request please any presentations delivered to ASIC staff about the proposed restructure that took place in July. To narrow the scope of this request, I request slides mentioning the Corporate Finance Team or the corporate finance function.

3 documents released in part

A copy of the ASIC delegate’s decision in relation to the application by Capital Mortgage Group Pty Ltd to seek an amendment of its credit licence to add the debt management authorisation.

1 document released in part

Documents / web links that identify the laws that govern credit licences.

1 document released in full

Any correspondence/ emails/encrypted communications between current ASIC Commissioners, the CEO (formerly COO), Executive Directors Mr Tim Mullaly, Mr Chris Savundra, Mr Zak Hammer and CHOICE CEO, Mr Alan Kirkland, since 1 September 2022.

15 documents released in part, with staff contact details redacted under s 11C(1)(a)

I note that on 31 July 2023, journalist David Ross from The Australian newspaper reported the following:
“ASIC declined to comment on several WhatsApp messages sent by Mr Hempton to
Ms Chester, but The Australian understands the deputy chair reported three messages from her former colleague on WhatsApp from about the beginning of 2022.
“These messages, according to ASIC sources, were forwarded to the regulator’s general counsel Chris Savundra, who then passed them on to “relevant ASIC staff” to be recorded as misconduct reports.”

Given Mr Ross’ reporting, I am now seeking the following:

1. any emails, hand written notes, chat messages and text messages on Commonwealth (or ASIC) or privately purchased devices from the following ASIC officials and teams:
   1. Karen Chester;
   2. Chris Savundra; and
   3. misconduct and breach reporting team
      which relate to the three Whatsapp messages sent from Mr Hempton to Ms Chester.
2. the three Whatsapp messages that were sent from Mr Hempton to Ms Chester.

4 documents released in part, with staff contact details redacted under s 11C(1)(a)

Document showing number of FTE assigned to the Corporate Finance team under the current ASIC structure

1 document released in full 

Copies of messages, emails, WhatsApp messages sent by Deputy Chair Karen Chester to General Counsel Chris Savundra in 2022 concerning:

• John Hempton; and/or
• WhatsApp messages exchanged between Mr Hempton and Karen Chester.

2 documents released in part, with staff contact details redacted under s 11C(1)(a)

1. The documents I am seeking only include email correspondence.
2. The documents include information received and sent by ASIC's Media team.
3. The recipients include, but are not limited to, ASIC’s Media team.
4. I would like to submit a revised timeframe, of between to 01/06/2021 to 01/09/2023.

16/10/2023 - 5 documents released in full and 3 documents released in part

16/11/2023 - 1 additional document released in part, following an internal review

FOI 169-2023 (ZIP, 5MB)

FOI 169-2023 (Additional Document) (PDF, 406KB)

Every encrypted message that Ms Chester has sent or received with Mr John Hempton related to official ASIC business.

Records or documents relating to when Ms Chester was originally issued with her Commonwealth (or ASIC) issued mobile phone device.

A copy of the 2018 APS Employee Census Results for ASIC.

Any documents (including organisation charts) that show the number of staff and/or full time equivalent staff or the individuals: (a) in the Financial Reporting & Audit Team at any time from 30 June 2021 to 3 July 2023; (b) involved in the surveillance and regulation of financial reports and audits in the Companies and Small Business Team at any time from 3 July 2023 to date; and (c) formerly from the Financial Reporting & Audit Team in the Companies and Small Business Team at any time from 3 July 2023 to date.

Any organisation charts or staff listings for the Financial Reporting & Audit Team and the Companies and Small Business Team at any time from 1 July 2021 to date. Names of individuals could be redacted.

Any documents showing the number of financial reports reviewed as a part of the financial reporting surveillance program during the period from 1 July 2021 to 30 June 2022 (including any parts thereof) and during the period from 1 July 2022 to 30 June 2023 (including any parts thereof), on the basis of reviews commenced and/or on the basis of reviews completed.

Given that the second sentence on page 8 of Report 743 ‘Audit Inspection report: 1 July 2021 to 30 June 2022’ says “This year we reviewed 220 entity financial reports under our separate financial reporting surveillance program …”, a request could be made for any documents showing the equivalent number of financial reports reviewed for the following year. I would like to request any documents showing the number of audit files and key audit areas reviewed in the 12 months to 30 June 2023 on a similar basis to the following numbers shown on page 5 of ASIC Report 743 for the 12 months to 30 June 2022 – 45 “Audit files reviewed” and 146 “Key audit areas reviewed”.

…a copy of the report or findings presented to deputy chair Karen Chester concerning a review conducted on behalf of ASIC concerning the use of ASIC credit cards, travel expenses, and allowances.

The review was conducted by the Pitt Group on behalf of ASIC.

The expenses review was conducted in the period November 2020 to January 2021.

Under freedom of information laws, I'm seeking access to the following documents:
- Drafts and final version of the PwC 'Infrastructure Review' report ASIC commissioned in June 2021.

Correspondence from ASIC to Petsure in relation to Pet Insurance and ASIC's stop order issued on June 29 2023 excluding the names of ASIC staff and Petsure staff.

Correspondence from ASIC to Hollards in relation to Pet Insurance and ASIC's stop order issued on June 29 2023 excluding the names of ASIC staff and Hollard staff.

I wish to FOI all correspondence between ASIC chief operating officer Warren Day and ASIC deputy chair Karen Chester from the period of December 2019 to January 2023 concerning:

- travel expenses
- travel allowance
- accommodation costs
- accompanied accommodation costs
- payment of travel expenses
- hotels
- airfares

I wish to receive copies of all email communications between Mr Day and Ms Chester including any explanation from Ms Chester to Mr Day regarding the reasons for the claiming of these expenses.

This would include correspondence from Ms Chester to Mr Day detailing the meetings she undertook in Canberra in the period and how this related to her travel expenses. 

I wish to FOI a tally of the total spend of all travel expenses of ASIC commissioners for the periods of the periods of:

FY2019-2020
FY2020-2021
FY2021-2022
FY2022-2023
FY2023-2024

This tally should be broken down by commissioners, chairs, and deputy chairs. IF chairs, commissioners, or deputy chairs were not present during these periods, please note this in the timeframe in the tally.

If possible, this tally should also include how much of the total travel expenditure budget was used by the commissioner, chair, or deputy chair in that period.

For the purposes of this FOI the term travel expenses refers to any and all variation of the term. this may include travel costs, travel expenditure, travel budget, living expenses, relocation costs, work away costs, remote working costs.

1. ASIC's Information and Records Management Policy; and
2. internal policies, guidelines and operational procedures concerning the use of phones for official ASIC use (whether they be ASIC (or Commonwealth) issued phones privately purchased phones).

1. I am writing to request under the Freedom of Information Act 1982 (Cth), all documents, emails, chat messages or text messages on any government issued mobile phone or tablet device or phone calls held by the ASIC that concern the establishment of the current parliamentary inquiries into ASIC.
2. Specifically, I am seeking records from 26 October 2022 to 28 October 2022 for the following ASIC officials:

• Jesse Krncevic – Head of Government Relations at ASIC;
• Vicky Finn – Senior Manager, Government Relations and Regulatory;
• and Any other ASIC Senior Manager who is responsible for Government Relations and External Affairs.

I am writing to request records under the Freedom of Information Act 1982 (Cth) regarding the “organisational design, and restructure, of ASIC”– which has been publicly confirmed by ASIC Chair Joseph Longo. Specifically, I seek the following documents:

1. all proposals by consulting firms who submitted a tender application to ASIC related to the provision of services in assisting the “organisational design, and restructure, of ASIC”;
2. ASIC’s consulting proposal evaluation report (or any other similar document);
3. the ASIC-Nous Group contract relating to the specific “organisational design, and restructure, of ASIC” engagement;
4. any status reports which Nous Group submitted to ASIC as part of the “organisational design, and restructure, of ASIC”;
5. any draft reports submitted by Nous Group; and
6. the final report submitted by Nous Group.

1. I am writing to request under the Freedom of Information Act 1982 (Cth) all documents and emails held by ASIC relating to the:

• “Senate Economics References Committee Inquiry Steering Group”; or
• “SERC Inquiry Steering Group”.

2. Specifically, I am seeking planning documents, agenda papers and minutes of meetings for the period of 1 November 2022 to 14 July 2023.

Establishment of the Parliamentary Inquiry into ASIC

Documents, emails, chat messages or text messages on any government issued mobile phone or tablet device or phone calls held by the ASIC that concern the establishment of the current parliamentary inquiries into ASIC.

Specifically, records from 25 October 2022 to 28 October 2022 from the following ASIC officials:

1. Joseph Longo;
2. Sarah Court;
3. Karen Chester; 
4. Louise Macaulay;
5. Warren Day;
6. Zoe Viellaris;
7. Tim Mullaly;
8. Sharon Concisom;
9. Brendan Facey; and
10. ASIC Media team.

Data relating to the Office of Enforcement Documents from 2019 to 2023 relating to a profile breakdown of staff within ASIC’s Office of Enforcement by:

1. age; and
2. primary tertiary qualification.

FOI 090-2023 (PDF 5MB)

FOI 080-2023 (PDF 588KB)

Documents held by the Australian Securities and Investments Commission (ASIC) in relation to the decision to reach a settlement agreement with Dixon Advisory and Superannuation Services (DASS).

Specifically, I would like to request any correspondence, including email, letters, memos, or other written communications, to and from ASIC Chair Joe Longo and/or other commissioners relating to the decision to reach a settlement agreement with DASS.

I am seeking access to all documents within the timeframe of January 1st 2020 to December 31, 2021.

FOI 066-2023 (ZIP 2MB)

FOI 049-2023 (PDF 701KB)

FOI 046-2023 (ZIP 1MB)

FOI 046-2023 (Additional Documents) (ZIP 1MB)

Correspondence containing the following individuals/teams views on changes to access to documents for a non-party under Federal Court Legislation Amendment Rule 2022 subrule 2.32:

• The Commission
• ASIC’s Media Unit
• ASIC’s Chief Legal Office (in particular, ASIC’s General Counsel and Special Counsel, Civil Litigation)
• ASIC’s Office of Enforcement leadership team

FOI 039-2023 (ZIP 7MB)

FOI 068-2023 (ZIP 10.8MB)

FOI 033-2023 (ZIP 2MB)

• How many times has ASIC approached the DPP about launching legal action?
• How many of those approaches have resulted in legal proceedings?
• How many people are in legal proceedings?
• How many did not proceed to legal action, and what were the specific reasons given?

FOI 023-2023 (PDF 131KB)

FOI 015-2023 (ZIP 2MB)

FOI 011-2023 (ZIP 2MB)

FOI 213-2022 (PDF 85KB)

FOI 226-2022 (ZIP 1.89MB)

FOI 217-2022 (ZIP 2.09MB)

FOI 211-2022 (ZIP 20MB)

FOI 231-2022 (ZIP 705KB)

FOI 210-2022 (ZIP 1.24MB)

FOI 207-2022 (ZIP 8.47MB)

FOI 199-2022 (PDF 9.25MB)

FOI 209-2022 (PDF 1.3MB)

FOI 198-2022 (PDF 741KB)

FOI 200-2022 (ZIP 5.29 MB)

FOI 153-2022 (ZIP 3.18MB)

I am happy to exclude names and contact details.

FOI 185-2022 (PDF 359KB)

Under the Freedom of Information Act, I request a schedule of correspondence between the ASICs Corporations Team and Bridge SaaS. 

I am not interested in the names or email addresses of any public servants

FOI 156-2022 (PDF 219KB)

I wish to FOI all communications for QBE to ASIC and ASIC to QBE concerning QBE's review of its pricing practices.

I am happy to exclude names and contact details from this FOI.

FOI 142-2022 (ZIP 10MB)

• All photographs captured by ASIC’s investigation into Melissa Caddick;
• Any chronology documents of the investigation.

FOI 135-2022 (1) (ZIP 104.76MB)

FOI 135-2022 (2) (ZIP 142.64MB)

FOI 135-2022 (3) (ZIP 104.26MB)

FOI 135-2022 (4) (ZIP 99.08MB)

Documents relating to the application made by Better Lending Pty Ltd for an Australian Credit Licence.

27/9/2022 - 6 documents released in part and 3 documents released in full

27/10/2022 - 1 additional document released in full following expiration of third party review rights

FOI 144-2022 (ZIP 2.18MB)

FOI 144-2022 (Additional document) (PDF 1.16MB)

ASIC’s correspondence with Treasury as detailed in ASIC’s Infographic response to CP 332 under the section ‘Next steps’.

• Specifically any report ASIC produced on the findings of its consultation

FOI 166-2022 (PDF 209KB)

Any record of any communication, including file notes, about the KPMG Australia exam cheating allegations.

You may redact the names and contact details of KPMG staff. You may redact the contact details of all other named individuals.

You may also exclude all material that was provided in this request: Ref 216-2021.

FOI 145-2022 (ZIP 9MB)

FOI 127-2022 (ZIP 2.08MB)

FOI 125-2022 (PDF 22MB)

FOI 112-2022 (ZIP 9MB)

FOI 132-2022 (ZIP 22MB)

(Internal review of FOI 022-2022)

FOI 022-2022 (ZIP 2.20MB)

• ASIC's submission document to the AWEI scheme;
• The results of ASIC's AWEI's submission
• Results of AWEI employee survey conducted by ASIC on ASIC employees;
• Invoices to or from either ACON or Pride in Diversity (from 2021 and 2022).

FOI 119-2022 (ZIP 8MB)

FOI 113-2022 (PDF 644KB)

FOI 066-2022 (ZIP 15MB)

FOI 121-2022 (PDF 300KB)

FOI 086-2022 (ZIP 9.32MB)

FOI 088-2022, FOI 089-2022 (ZIP 921KB)

FOI 065-2022 (ZIP, 6MB)

FOI 111-2022 (PDF, 241KB)

FOI 100-2022 (ZIP, 3.95MB)

FOI 090-2022 (ZIP, 4MB)

FOI 097-2022 (PDF 1.64MB)

FOI 032-2022 (PDF 5.12MB)

FOI 061-2022 (PDF 30.14MB)

FOI 078-2022 (PDF 3.82MB)

FOI 032-2022 (PDF 2.6MB)

FOI 055-2022 (PDF 6.1MB)

FOI 036-2022 (PDF 45MB)

FOI 028-2022 (PDF, 12MB)

FOI 022-2022 (ZIP, 1.7MB)

FOI 004-2022 (PDF, 864 KB)

FOI 029-2022

FOI 029-2022 (ZIP 4MB)

FOI 037-2022

FOI 037-2022 (PDF 869KB)

FOI 015-2022

FOI 016-2022

FOI 015-2022, FOI 016-2022 (PDF 380KB)

To access the document, please email foirequest@asic.gov.au

FOI 044-2022 (PDF 362KB)

1. Correspondence with Canaccord Genuity relating to sell-side research produced by the company in 2021
2. Internal memos or reviews written in 2021 relating to conflicts of interest in sell-side research, relating to Canaccord
3. A list of meetings or calls between ASIC and Canaccord Genuity and the topic of discussion, in 2021

FOI 024-2022 (PDF 6MB)

FOI 263-2021 (PDF 275KB)

FOI 270-2021 (PDF 335KB)

1. Internal and external correspondence referring to ‘confirmation of payee’ as it relates to the ePayments Code Review; and
2. Documents prepared by ASIC containing ASIC's consideration of the merits of implementing a confirmation of payee service in Australia

To access the document, please email foirequest@asic.gov.au

1. ASIC media release titled Barton Capital Securities provides enforceable undertaking dated 9 May 2002 (MR 02/162)
2. Enforceable Undertaking referred to in MR 02/162

FOI 261-2021 (ZIP 496KB)

1. Claims lodged with ASIC under the Compensation for Detriment due to Defective Administration Scheme (CDDA Scheme) from 1 January 2015 to 31 January 2019
2. Internal correspondence which relates to the above claims
3. Decisions made in respect of the above claims

FOI 255-2021 (ZIP 1.4MB)

12/01/2022-2 documents released in part

14/02/2022-10 additional documents released in part, following an internal review

To access the document, please email foirequest@asic.gov.au

To access the document, please email foirequest@asic.gov.au